Criteria and Review Approach Document (CRAD) Development

DOE-HDBK-3027-99

Operations and Implementation

DOE Rocky Flats Field Office

The Operations and Implementation functional area sub-team was further augmented by six

Subject Matter Experts (SMEs). Areas of SME expertise included maintenance, industrial

hygiene, training, radiological controls, security, and criticality safety. Experiences in similar

verifications demonstrate that these functional areas and SME assignments are optimum for a

review of ISMS. SME selection should reflect the unique conditions at the individual site. The

combination of Business, Budget, and Contracts (BBC) with Management (MG) should be

considered in review preparation and planning as these areas are closely associated.

3. Criteria and Review Approach Document (CRAD) Development. The ISMS verification

team developed the CRADs for this verification in a format similar to CRADs used during

Operational Readiness Reviews (ORRs). The review approach provided flexibility for developing

CRADs among the functional area sub-teams. Based on the unique nature of the Integrating

Contract at Rocky Flats, the management functional area sub-team used separate CRADs for the

Integrating Contractor and each of the first-tier subcontractors. Phase II management results for

B371/374 and B664 were evaluated using the same CRADS for Phase I. The results were

recorded separately. The Operations and Implementation functional area sub-team used a specific

objective to document Phase II results separately. Other functional area sub-teams recorded

Phase I and Phase II results together and separated them later during the report writing phase. It

is recommended that in future reviews, one approach be used for the entire team which would

eliminate the Phase I and Phase II distinction when the reviews are conducted concurrently.

Conformity simplifies the development and the compilation of the results.

4. Review Sequence. Site preliminary meetings with the Team Leader were held well before the

start of the review to meet site personnel responsible for ISMS and to discuss the conduct of the

review. A four week review sequence was used for the ISMS verification at Rocky Flats and was

similar to that used during the Savannah River Site ISMS verification. The sequence was as

follows:

a. Week One/Initial Site Orientation and Team Preparations . A three-day site visit was

used to train the team, to explain the verification methodology, and to develop the

CRADs to be used for the review. This pre-visit was also an opportunity to assemble the

team and for the team to meet the Kaiser-Hill (K-H) management personnel responsible

for developing the ISMS. The ISMS Executive Course, recently developed at DOE

Headquarters, was presented for the team training. The following lessons learned are

pertinent to the initial site orientation and team preparations:

It was necessary to replace some team members after the first team visit. This is

not optimum and consideration must be given to providing new team members

with appropriate training and indoctrination.

It is essential to emphasize that an ISMS verification is not a programmatic

review, but rather a review of established policy, manuals of practice, and

processes at the site. This should be made a part of the training for the team and

replacement team members should receive this indoctrination.

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